Service
External compliance officer and interim.
A fully fledged compliance function without a permanent employee on the payroll. I fulfil the role of compliance officer under a mandate, or temporarily strengthen your team during peak periods, a departure or a project. Cover is arranged in advance through the Compliance & Risk Gilde.
A no-obligation conversation? Or would you rather email? ian@ikcomplianceadvies.nl
Does this sound familiar?
- Your organisation is too small for a full-time compliance officer, but the supervisor does expect an independent compliance function.
- Your compliance officer is leaving or unavailable, and the role needs to be filled immediately.
- You have just obtained a licence and want to set up the compliance function properly from the start.
- A project or remediation after supervisory findings is under way, and your team temporarily needs extra capacity.
What I do
As external compliance officer
- Fulfilling the compliance function under a mandate, with fixed days per month
- Drawing up an annual compliance monitoring plan and carrying out the reviews
- Advising on policy, new products and outsourcing
- Reporting to management and the supervisory board
- Acting as point of contact for DNB and AFM
As interim
- Temporarily taking over the role of Head of Compliance or AML expert
- Stepping in quickly, for as long as needed
- Handing the role over properly to your permanent team
Outsourcing and the supervisor
If you outsource the compliance function, you remain ultimately responsible. That is why we set out tasks, reporting and oversight in an agreement, and continuity is arranged in advance. If I am unavailable, a colleague from the Gilde takes over. We agree with you in advance who that is, and they will contact you within three working days.
Other services
Would you like to know how many days per month suit your organisation?
Arrange an introduction. I usually respond within one working day. Prefer email? ian@ikcomplianceadvies.nl